iasbda.com - Comments

The International Association of Small Broker Dealers and Advisors

CFAW ANNUAL DINNER Dinner with Bob Pozen, Author of "Too Big To Save?"
SEC ADOPTS ALTERNATIVE TICK RULE 3-2
The useless U-5
Regulatory Notice 09-69-Payments to Unregistered Persons
FINRA Regulatory Notice 10-03 Proposed Rule 4330(a)
Gadinis: The SEC and the Financial Industry: Evidence from Enforcement against Broker-Dealers
BrokeAndBroker.com: The Fiduciary Standard Battle
Comments on the SEC'S draft strategic plan.
Plexus Retained By The Chartered Financial Analyst Society of Washington,D.C.
File No. S7-21-09. Flash Orders
Abusive Short Selling Update.
File no.4-590 Roundtable on stock loan and short sales.
A sea change in the regulation of short selling.
amendments to reg sho.File No.: S7-08-09
Regulatory Notice 09-25 Suitability and Know Your Customer
File No.S7-09-09 IA custody rules
Consumer protection at the SEC
File No.S7-08-09 uptick rule reinstatement proposals.
IASBDA/Plexus quoted in Pipewire.
plexus/iasbda Bloomberg interview.

Comments

Iasbda Articles, White Papers, Research and Comments

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